Our comprehensive client onboarding workflow has four steps:
Behavioral Assessment Flow
Our mini-questionnaires makes behavioral finance easy to use. You can customize the flow and send a link to your clients to complete at home.
Multi-dimensional Risk Tolerance
Click here for Multi-dimensional Risk Tolerance Assessment.
Demonstrate Value: Analyze Prospect Portfolios
We use efficient frontier visualization to help you analyze the prospect’s portfolios. You will be able to show if risk is aligned and if the portfolio is efficient.
Investment Policy Statement (IPS)
Now the prospect becomes the client, it is time to generate the Investment Policy Statement.
On June 30, 2020, the Security and Exchange Commission’s Regulation Best Interest (Reg BI) goes into effect for broker-dealers, registered investment advisers, and dual registrants, making the IPS an indispensable part of the process.
A proper IPS tells the value-add story and the long-term story, establishing a solid foundation for a trusting relationship for years to come.